Responsible Officer

Aureum Infinity Capital Limited; Hong Kong; On-site; HKD 312,000 - 391,000; Full time

Benefits offered by this job

Paid annual leave

Paid sick leave

Medical insurance

Job summary

Aureum Infinity Capital Limited in Hong Kong is seeking a Responsible Officer to oversee SFC Type 1, 4 and 9 activities, ensuring business compliance with SFC rules and internal policies. You will supervise regulatory filings, monitoring deals, and managing compliance risks on a daily basis.

The role requires a current SFC RO approval, 3+ years in HK licensed financial institutions or asset management, strong English and Chinese, and a degree in Finance/Law/Accounting.

Qualifications

• Currently approved by the SFC as Responsible Officer for Type 1, 4 and 9.
• Minimum 3 years’ relevant experience in Hong Kong licensed financial institutions, asset management, securities, funds or wealth management.
• Familiar with Hong Kong securities and asset management regulations, including licensing rules, the Code of Conduct, AML/CFT, client asset protection and ongoing compliance obligations.
• Excellent command of written and spoken English and Chinese (Cantonese or Mandarin).
• Bachelor’s degree or above, preferably in Finance, Law, Accounting or Business Administration; CFA/HKSI an advantage.
• Prior RO experience and experience in funds or wealth management are advantageous.

Responsibilities

• Act as Responsible Officer for SFC Type 1, 4 and 9 regulated activities, oversee compliance of business operations to comply with SFC requirements, internal policies and ongoing compliance obligations.
• Liaise with the SFC and other regulatory bodies on compliance matters, regulatory filings and enquiries.
• Monitor dealing, advisory and asset management activities, identifying and following up on potential compliance and operational risks.
• Ensure adherence to AML/CFT, KYC/CDD, client asset protection, conflicts of interest and personal account dealing requirements.
• Enhance internal compliance policies and procedures, conduct regular compliance self-assessments, follow up on remediation, and organise compliance training.
• Perform other compliance, risk management and operational duties as assigned by management.

Skills

Regulatory compliance

SFC RO status

English & Chinese

Financial industry experience

Education

Bachelor’s degree or above

Job description

• 薪酬: $28,000.00至$35,000.00(每月) / 有薪年假 / 有薪病假 / 醫療保險
• Liaise with the SFC and other regulatory bodies
• Bachelor’s degree or above, preferably in Finance

Key Responsibilities：

• Act as Responsible Officer for SFC Type 1, 4 and 9 regulated activities, oversee compliance of business operations to comply with SFC requirements, internal policies and ongoing compliance obligations.
• Liaise with the SFC and other regulatory bodies on compliance matters, regulatory filings and enquiries.
• Monitor dealing, advisory and asset management activities, identifying and following up on potential compliance and operational risks.
• Ensure adherence to AML/CFT, KYC/CDD, client asset protection, conflicts of interest and personal account dealing requirements.
• Enhance internal compliance policies and procedures, conduct regular compliance self-assessments, follow up on remediation, and organise compliance training.
• Perform other compliance, risk management and operational duties as assigned by management.

Requirements：

• Currently approved by the SFC as Responsible Officer for Type 1, 4 and 9 regulated activities.
• Minimum 3 years’ relevant experience in Hong Kong licensed financial institutions, asset management, securities, funds or wealth management.
• Familiar with Hong Kong securities and asset management regulations, including licensing rules, the Code of Conduct, AML/CFT, client asset protection and ongoing compliance obligations.
• Excellent command of written and spoken English and Chinese (Cantonese or Mandarin).
• Bachelor’s degree or above, preferably in Finance, Law, Accounting or Business Administration; CFA/HKSI an advantage.
• Prior RO experience and experience in funds or wealth management are advantageous.

工作類型: 全職

薪酬： $28,000.00至$35,000.00（每月）

福利：

• 有薪年假
• 有薪病假
• 醫療保險

Work Location: 親身到場